-
SEC won’t bar arbitration mandates in IPOs
The move to easing the IPO registration processes comes as appointees of the Trump administration embrace a business-friendly stance.
-
CFTC secures $18.5m in penalties over silver leasing fraud
The scheme promised more than 60 investors insured vault storage and fixed monthly returns, and left them with $8m in losses.
-
DOJ asserts ‘equal playing field for US businesses,’ secures CEO conviction under FCPA
DOJ targets CEO whose role in allegedly winning corrupt contracts from the Honduran government led to FCPA and money laundering charges.
-
PCAOB’s Broker-Dealer Audit Focus Series: Reviewing exemption reports
The auditor’s objective is to state whether one or more conditions exist that would cause one or more of the broker-dealer’s assertions not to be fairly stated.
-
Somebody’s watching you – the growing popularity of bossware
One-third of UK managers say their organizations are monitoring employees’ online activity on employer-owned devices.
-
ANZ fined A$240m after admitting to engaging in unconscionable conduct
This is the biggest combined penalty on one entity issued by the ASIC, and reflects “the seriousness and number of breaches of law.”
-
DOJ charges Chinese tech executive and financial adviser over $100m pump-and-dump scheme
The alleged operation involved impersonating investment advisors and creating false Whatsapp boards to lure investors in.
-
FTC warns healthcare employers on noncompetes
The Federal Trade Commission sent formal letters to major healthcare employers and staffing firms urging them to review restrictive employment agreements.